"#148839"--Page 4 of cover. "Prepared for distribution at the Broker-Dealer Advisory Services 2016: Current Legal and Compliance Issues Facing Dual Registrants Program, February 17, 2016"--Page 5. Index begins with letter B and is erratic. Includes bibliographical references and index.
Contents:
Dual Registrant Advice in the Retirement Marketplace: Overview of Proposed Regulation Redefining Fiduciary under ERISA & Best Interest Contract Exemption / Jason C Roberts CEO, Partner Retirement Law Group , Pension Resource Institute, LLC Bonnie M Treichel Pension Resource Institute, LLC. Practical Considerations Regarding the Establishment and Maintenance of the Broker Dealer Supervisory Framework (February 2016) / Clifford E Kirsch Sutherland Asbill & Brennan LLP -- Practical Compliance Considerations for Dual Registrants Regarding Navigating the SEC and FINRA s Advertising Rules (February 2016) / Clifford E Kirsch Sutherland Asbill & Brennan LLP John C Munch General Counsel, SEI Investments Distribution Co. -- FINRA Regulatory Framework Applicable to Dual Registrants / Cece Baute Mavico Vice President and Associate General Counsel, LPL Financial -- Dual Registrant Advice in the Retirement Marketplace: Overview of Proposed Regulation Redefining Fiduciary under ERISA & Best Interest Contract Exemption / Jason C Roberts CEO, Partner Retirement Law Group , Pension Resource Institute, LLC Bonnie M Treichel Pension Resource Institute, LLC.
Series:
Corporate law and practice course handbook series ; number B-2225
This resource is supported by the Institute of Museum and Library Services under the provisions of the Library Services and Technology Act as administered by State Library of Iowa.